James Hopkins Todd

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2000-05-15

UT RA
APPROVED

Since 2000-05-15

Branch Locations

1752 County Circle, Centerville, UT 84014-1846 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)	Centerville	UT	01/1991	Present

01/1991 → Present

Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)

Centerville, UT

Other Businesses

1. 06/28/2024 - Real Estate Rental - Investment Related - Centerville, UT - Start Date 06/02/2023 - 2 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-09
S63	Uniform Securities Agent State Law Examination	1982-07-28

S66 Uniform Combined State Law Examination

2000-05-09
S63 Uniform Securities Agent State Law Examination

1982-07-28

View on SEC IAPD